"A white paper is an authoritative report or guide that often addresses issues and how to solve them. White papers are used to educate readers and help people make decisions." (from Wikipedia) In this case, the "papers" are all written by a particular "White" and so are "almost" White Papers. That means that the opinions expressed on this blog are my own, and should not be attributed to my employer, or any other person or institution with whom I am affiliated.

In the course of any particular day, I am often approached with very general questions on topics related to technology transfer. I am expected to serve faculty, staff, and students as a resource for information. In particular, this is meant to ensure that they fully understand the issues and processes, and can more effectively engage in commercialization activities. Unfortunately, this means that the questions posed may range from the legal/technical “what is meant by ‘prior art’?” to the more esoteric issues associated with policy and decision-making, such as “how can we become more successful in spinning out new ventures?”

Of course, the latter sorts are the ones that keep spinning around in my head, since in many cases even I have difficulty with a clear, concise, answer. In large part, this is because I recognize the inherent problems with decision making in these situations. The real question being asked in some of the situations is “what is the RIGHT thing to do?”

At the heart of any decision is an effort being made to choose an action in pursuit of some goal. In order to do so successfully, the decision maker must:

Clearly articulate the goal

Identify options available for some active choice

Understand the consequences of those alternative choices

Evaluate other factors which might impact the final decision process

In this general sense, many decisions are conceptualized as a “cost-benefit” analysis, with the decision-making process focusing on the relative gain attendant upon a choice relative to the loss or “expense” involved.

Obviously, some decisions can be made using much simpler processes, such as a coin toss. Such decisions are often made by single person, on matters with little impact on either that individual or anyone else (yes, I would like iced tea to drink), and no complications.

This image is of Australian origin and is now in the public domain because its term of copyright has expired.

Other decisions, however, require extraordinary efforts directed toward fact-finding and analysis, along with multiple meetings of large groups of people who must conform to a formal structure for coming to a decision. This sort of decision is likely to impact larger groups, or have potential consequences that justifies investment of time and energy into making the best choice possible. Furthermore, this may involve individuals or groups with widely divergent opinions on what constitutes the “best” choice. Frequently, the decision is couched in terms of “right” and “wrong” such that there is an unfortunate attribution of possible fault and blame attendant upon the choice.

For decisions related to technology transfer, the process can be extremely complex. Choices may be constrained in various ways that are uncomfortable for those involved. The culture of academia can also play a larger role than is typically appreciated—this may amount to a set of “almost sacred” values held by some of the people involved. Frequently cited values in academia include “academic freedom” and “dissemination of knowledge,” but there are many variations along these lines, attributing a sort of “purity” of thought and intentions to the academic world. If technology transfer decisions are subjected to this sort of “good vs. evil” analysis, there will be individuals on both sides of the question claiming the moral “high ground” as it were. Suddenly, it becomes difficult to decide which position constitutes the “high road” and which the “low road.”

This is further complicated when you realize that perhaps no one knows which road—the “high” or the “low” one—is “better” in some absolute sense. As the Wikipedia article points out, there may be different interpretations brought to the imagery. The low road is sometimes equated with death, the soul of the departed Scotsman returning home, so the traveler on the “high road” may be making a more expeditious choice, but not necessarily a “better” one. There is a sort of moral judgment implied of course, but there remains room for speculation on the relative values demonstrated.

Economic, foreign and military policies are typically based on utilitarian considerations. More specifically, it is believed that those who challenge a functioning social contract should concede if an adequate trade-off is provided (e.g. sanctions or other incentives). However, when individuals hold some values to be sacred, they fail to make trade-offs, rendering positive or negative incentives ineffective at best.

Obviously, this is true for university policy as well. As the authors in the study point out, policy decisions are seldom made with any degree of introspection on the possible difference in value judgments on the subject in question. The study concludes that there is a problem encountered when attempting to evaluate certain choices when viewed against deeply held convictions–the brain simply doesn’t process this sort of decision well. The entire process takes a different track so to speak.

Given this understanding, it’s easy to see how difficult the choices might be for university technology transfer. In fact, there may be surprisingly little effort made to analyze some of the “defacto” decisions made, under guidance of existing policies. In worst case scenarios, policy is wielded as a weapon (either against a faculty member or a potential licensee!) and the university (technology transfer) agents are derided for being “inflexible.” The university representatives feel it is a matter of taking a stand, holding positions consistent with their understanding of their institutional policy. They are held to this standard for making the decision. No matter how “reasonable” the tech transfer office might wish to be, university administrators can be hostile to suggestions that policies provide for flexibility—after all, what would be the point in having a policy then?

Thus, when I am posed a question that has at its heart, a possible conflict with the deeply held values inherent to the academic world, I tend to hesitate in providing answers. While not “sacred” on par with belief in a deity, there is sometimes an undercurrent of feeling that technology transfer involves something “not right” in the context of the presumed mission of the university. For some researchers, a decision has already been made that commercialization is “good” for the university, and much of the decision-making process defaults to typical “cost-benefit” categories. But there will be faculty for whom this kind of answer is insufficient. In order to work with them, to give real answers to their questions, it is important to realize that technology transfer is perceived as putting a price tag on something that isn’t even on the market. I do try to respect this position and in the course of doing my job, attempt to bring clarity and consensus to the decision-making process in technology transfer. Even when I’m tempted to just toss a coin!